The Osgoode Certificate in Regulatory Compliance & Legal Risk Management for Financial Institutions

Faculty Agenda Download Brochure PDF

Back for its 10th year! This intensive OsgoodePD Certificate program was developed by a select group of industry experts to provide you with a comprehensive understanding of compliance requirements in financial services, along with practical strategies to meet them.

Over 5 modules, you will explore the intersection of compliance and enterprise risk management to get best practices for effectively managing both risk and compliance as part of your organization’s essential line of defence. You will emerge from this program equipped with the most up-to-date knowledge, strategies and tactics you need to develop, implement or re-energize a state-of-the-art compliance program within your organization.

This program will cover:

• Fundamentals of regulatory compliance for financial institutions
• How to effectively identify, mitigate and control risks
• Essential components of an effective compliance program
• Federal and supervisory authorities, their objectives, powers and responsibilities
• Impact of international standard setting organizations
• How major regulators regulate and supervise
• Correlations between governance, risk management and compliance (GRC)
• How to become an effective partner and energize your organization
• Effectively implementing a code of business conduct and ethics
• Managing a regulatory examination, investigation and incident
• Best practices for crisis management and response
• Strategies for managing high risk issues
• How to manage industry disruptors like data analytics, bitcoin, blockchain and fintech and other unregulated financial services players
• Emerging challenges in compliance and what you need to do to prepare

NEW! ONLINE PRIMERS – COMPLIANCE FOUNDATIONS

These primers focus on core concepts for those who may be new to compliance or those seeking a succinct refresher. All primers are included with the Certificate or the Fundamentals of Compliance (Module 1). View online anytime per dates below. Mobile‑friendly. To obtain your Certificate, all five primers must be viewed:

• Introduction to Compliance Primer (New! Available by Jan. 15, 2021)
• Regulatory Landscape Primer (Available on‑demand)
• Privacy, Outsourcing & AML Primer (Available on‑demand)
• Behavioural Ethics & Compliance Primer (New! Available by Jan. 15, 2021)
• Technology & Industry Disruptors Primer (Available on‑demand)

Faculty

Program Directors

• Jasmin Jabri, Compliance Executive
• Jacqueline Shinfield, Partner, Blake, Cassels & Graydon LLP
• Joann Sochor, AVP, Corporate Compliance, Sun Life

Program Advisory Board

• Paola Cifelli, Associate General Counsel, Enterprise Regulatory Office, Legal, Corporate & Compliance Group, BMO Financial Group
• Mary Joyce Empensando, Chief Compliance Officer, Questrade, Inc., Questrade Wealth Management Inc.
• John Lewsen, Insurance Director Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company & BMO Life Insurance Company
• Katherine Macpherson, Associate Partner and Canadian Leader, Non-Financial Risk, Ernst & Young LLP
• Andrew Mushore, LLM, Chief Operating Officer & Chief Compliance Officer, Bridging Finance Inc.
• Ilona Niemi, Group Chief Compliance Officer, The Co‑operators Group Limited
• Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.

Faculty

• Michael Abate, Senior Manager, Omnia AI, Deloitte LLP
• Dan Adamson, CTO and Co‑Founder, PointChain Technologies
• Imdad Ali, Senior Counsel & Regulatory Liaison, Enterprise Regulatory Office | Legal & Regulatory Compliance, BMO Financial Group
• Darcy Ammerman, McMillan LLP
• Kent Andrews, Senior Vice President, Regulatory Risk, TD Bank Group
• Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer, Computershare
• Naomi Bartlett, BA, JD, MBA, Vice President, Compliance, Canadian Wealth Distribution | Chief Compliance Officer, Scotia Capital Inc.
• Paul Belanger, Blake, Cassels & Graydon LLP
• J‑P Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
• Sarah Bradley, Ombudsman and Chief Executive Officer, Ombudsman for Banking Services and Investments (OBSI)
• Adeline Cheng, Vice President, Regulatory Compliance, Personal & Commercial Banking and Wealth Management, Royal Bank of Canada
• Frank Chong, VP and Deputy Superintendent, Regulation, BC Financial Services Authority (BCFSA), and Vice‑Chair, Canadian Council of Insurance Regulators (CCIR)
• Jill Clark, Senior Director, Capital Markets Compliance, CIBC World Markets Inc.
• Julie Clarke, General Counsel, Portland Investment Counsel
• Domenic Commisso, Senior Manager, Canadian Banking Compliance, TD Bank Group
• Stephanie Corvese, HBSc, MFSc, ACE, GCFE, Senior Associate, Digital Forensics and Cyber Security, Grant Thornton LLP
• Rebecca Cowdery, Borden Ladner Gervais LLP
• Sashya D’Souza, Senior Vice President, Talent Initiatives, Toronto Finance International
• John Fabello, Torys LLP
• Matin Fazelpour, Hicks Morley LLP
• Tyler Fleming, Director, Investor Office, Ontario Securities Commission (OSC)
• Sara Gelgor, LLB, LLM, MBA, ICD.D, Former Head of Regulatory Compliance, Wealth & Personal Banking, HSBC
• David Goodis, Assistant Commissioner (Policy & Corporate Services), Office of the Information & Privacy Commissioner of Ontario (IPC)
• Michael Holder, General Counsel and Chief Compliance Officer, Delphia
• Jocelyn Hung, Manager, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
• Jonathan Joynt, CIPP/C, Senior Advisor/Manager, Business Advisory Directorate, Office of the Privacy Commissioner of Canada (OPC)
• Sarah Kheir, CHRL, Director, Diversity & Inclusion, Sun Life
• Jessica Leung, Canada Investments Chief Compliance Officer, Mercer Global Investments Canada Limited
• Huston Loke, Executive Vice President, Market Conduct, Financial Services Regulatory Authority of Ontario (FSRA), and Vice‑Chair, Canadian Council of Insurance Regulators (CCIR)
• Andrew Ma, CFA, Chief Compliance Officer, Polar Asset Management Partners Inc.
• Kate McGrann, Crawley MacKewn Brush LLP
• Karen McGuinness, CPA, CA, Senior Vice‑President, Member Regulation – Compliance, Mutual Fund Dealers Association of Canada (MFDA)
• Suzanne Morin, Vice President, Enterprise Conduct, Data Ethics & Chief Privacy Officer, Sun Life
• Natalie Ochrym, Principal & Lawyer, Natalie Ochrym Professional Corporation
• Laura Paglia, Borden Ladner & Gervais LLP
• Philippe Pellerin, Manager, Supervision Division, Financial Consumer Agency of Canada (FCAC)
• Waqas Rana, Compliance Executive
• Kerry Robbins, Vice President & Ombudsman, TD Bank Group
• Cecilia Samsoondar, MBA, Regulatory Compliance Leader, Financial Services Risk Management, Ernst & Young LLP
• Amber D. Scott, Founder, CEO & Chief AML Ninja, Outliers Solutions Inc.
• David Shuen, Chief Compliance Officer & Chief AML Officer, China Construction Bank Toronto Branch
• Steven Slavens, Torys LLP
• Grant Spears, Assistant Vice President, Market Conduct, and Senior Business Compliance Officer, Distribution, Canada Life
• Anie Stuart, Managing Director, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
• Felicia Tedesco, Deputy Director, Operations Compliance and Registrant Regulation, Ontario Securities Commission (OSC)
• Michael Tracey, Senior Advisor, Behavioural Insights, Investor Office, Ontario Securities Commission (OSC)
• Ula Ubani, Chief Ethics & Conduct Officer, BMO Financial Group
• Irene Winel, Senior Vice President, Member Regulation and Strategy, Investment Industry Regulatory Organization of Canada (IIROC)

Agenda

View Brochure PDF

Fees

Fees include online attendance, online primers, electronic materials, and 120-day access to the program archive. Please inquire about group discounts and financial assistance.

Please Note: ONLINE PRIMERS

Included in your (paid) registration for the Certificate (5 Modules) or Fundamentals of Compliance (Module 1), is access to view the five online primers for this program as follows: 1. Introduction to Compliance Primer (New! Available on January 15, 2021) 2. Regulatory Landscape Primer (Available immediately on-demand) 3. Privacy, AML & Outsourcing Primer (Available immediately on-demand) 4. Behavioural Ethics & Compliance Primer (New! Available on January 15, 2021) 5. Technology & Industry Disruptors Primer (Available immediately on-demand). To obtain your Certificate, all five Online Primers must be viewed.

In the event of registration cancellation and if one or more Online Primers has been viewed, an Online Primer session fee will apply of $95 + HST per session.

Please follow the instructions below in order to access the online primer prior to the start of the program:
STEP 1. Go to www.osgoodepd.ca and click on CLE Login on the top right of the page.
STEP 2. Enter your login credentials under "Returning Customer".
NOTE: If this is your first time logging into OsgoodePD's platform to view an online program, your username is your email and your password is your last name with the first letter capitalized, as shown on this confirmation.
STEP 3. From your "Order History", select "View Program" and a new screen will open displaying the videos for the primers.

If you have any technical concerns or issues, please call 416.736.5737 or email opdsupport@osgoode.yorku.ca.

Program Changes

We will make every effort to present the certificate program as advertised, but it may be necessary to change the dates, location, speakers or content with little or no notice. In the event of program cancellation, York University and Osgoode Hall Law School’s liability is limited to reimbursement of paid fees.

Cancellations and Substitutions

Substitution of registrants is permitted at any time. If you are unable to find a substitute, a full refund is available if a cancellation request is received in writing 21 days prior to the program date. If a cancellation request is made with less than 21 days notice, a $150 administration fee will apply. No other refund is available.

Technical Support

In the event you experience technical difficulties, please contact opdsupport@osgoode.yorku.ca for assistance.

FAQs

Have a question? Read our FAQs.

Eligible CPD Hours

Online Primers – LSO (ON): 4h 40m (4h 30m Substantive; 10m Professionalism).
Module One – LSO (ON): 7h (6h Substantive; 1h Professionalism).
Certificate – All Modules (includes Online Primers) – LSO (ON): 40h 10m (35h 5m Substantive; 3h 35m Professionalism; 1h 30m EDI).

Program Details

Questions on program registration?
Please contact the Registration Team at osgoodepd@osgoode.yorku.ca

Questions on the program content?
Please contact the Program Lawyer:
Alexandra Karacsony AKaracsony@osgoode.yorku.ca